Archives - IOSCO - International Organization of Securities Commissions

• 1 November 2007 Principles for the Valuation of Hedge Fund Portfolios

  This document sets out principles for valuing the investment portfolios of hedge funds that are designed to mitigate the structural and operational conflicts of interest that may arise between the interests of the hedge fund manager and the interests of the hedge fund.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation

• 1 March 2007 International Disclosure Principles for Cross Border Offerings and Listing of Debt Securities by Foreign Issuers

  These principles provide guidance to securities regulators who are developing or reviewing their regulatory disclosure regimes for cross-border offerings and listings of debt securities.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Cooperation among Authorities, Transparency and Disclosure

• 29 August 2006 High-Level Principles for Business Continuity

  The document outlines business continuity principles that apply to industry participants and financial authorities.

  Content Type(s): Compendium Source(s): BCBS, IAIS, IOSCO, JF Policy Area(s): Financial Regulation and Supervision Topic(s): Prudential Supervision and Oversight, Risk Management

• 1 March 2006 Compliance Function at Market Intermediaries

  This document sets out principles with measures for implementation to assist market intermediaries to increase the effectiveness of their compliance function.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation, Risk Management

• 1 October 2005 Anti-Money Laundering Guidance for Collective Investment Schemes

  The document provides guidelines on how to apply global AMF/CFT standards to the operation of collective investment schemes (CIS).

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): AML/CFT, Market Regulation, Pensions

• 28 February 2005 Inauguration of the Public Interest Oversight Board (PIOB)

  Content Type(s): Press, Press Releases Source(s): BCBS, FSF, IAIS, IOSCO, WB Policy Area(s): AAQ

• 15 February 2005 Outsourcing in Financial Services

  This document presents a set of principles to assist firms and regulators in considering their outsourcing activities

  Content Type(s): Compendium Source(s): BCBS, IAIS, IOSCO, JF Policy Area(s): Financial Regulation and Supervision Topic(s): Prudential Supervision and Oversight

• 1 May 2004 Principles on Client Identification and Beneficial Ownership for the Securities Industry

  These Principles are formulated in relation to client identification and beneficial ownership for the securities industry. The Client Due Diligence (CDD) process is a key component of securities regulatory requirements intended to achieve the principal objectives of securities regulation, the protection of investors; ensuring that markets are fair, efficient and transparent; and the prevention of the illegal use of the securities industry.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation, Risk Management

• 1 October 2003 Securities Activity on the Internet

  These reports (issued in October 2003, Jun 2001 and Sep 1998) examine and provide guidance on issues relating to the impact of the Internet on securities regulation. They identify those Internet issues that should be addressed by each jurisdiction and provide guidelines on how to approach those issues.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Market Regulation

• 25 September 2003 Statement of Principles for Addressing Sell-Side Securities Analyst Conflicts of Interest

  This document sets out principles that are intended to address key issues regarding analyst conflicts of interest.

  Content Type(s): Compendium Source(s): IOSCO Policy Area(s): Financial Regulation and Supervision Topic(s): Financial Education, Governance, Market Regulation